Principal Analyst, Transparency Services Equities - Extended Hours

About the role

The Principal Analyst in Transparency Services Equities is responsible for monitoring and responding to real-time trade report and data dissemination issues. This role coordinates multiple internal teams and external parties to respond to emergencies and events. This role analyzes trade data and trading events to make recommendations to senior leadership to meet SEC requirements.

Responsibilities

• Maintains trade reporting integrity for regulatory compliance.
• Facilitates compliance with Transparency Services Reg SCI requirements.
• Conducts complex data analysis to identify trends, patterns, and insights.
• Designs and implements data collection methods and tools.
• Determines key performance indicators and develops methods to effectively measure and track them.
• Coaches more junior colleagues.
• Leads multi-level initiatives across the organization.
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives.

Requirements

• Bachelor’s Degree and a minimum of seven (7) years of experience in finance, compliance, or a related field.
• Knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
• Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is required.
• Advanced proficiency in financial services data analysis, with expertise in leveraging both internal and third-party vendor data sources to drive strategic insights.
• Prioritizes and executes against multiple projects simultaneously under tight deadlines, while maintaining outstanding attention to detail and customer service.
• Exceptional verbal and written communication skills to work with all levels directly to resolve issues.
• Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem-solving, risk-informed decision-making, and proactive program innovation.

Qualifications

Essential Job Functions: Monitors trade reporting integrity for regulatory compliance. Facilitates compliance with Transparency Services Reg SCI requirements. Conducts complex data analysis to identify trends, patterns, and insights. Designs and implements data collection methods and tools. Determines key performance indicators and develops methods to effectively measure and track them on a regular basis. Coaches more junior colleagues. Demonstrates FINRA’s values. Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Skills

Superior organization and time management skills. Advanced proficiency in financial services data analysis. Ability to prioritize and execute against multiple projects simultaneously under tight deadlines. Exceptional verbal and written communication skills. Exceptional ability to operate autonomously in dynamic, unstructured environments, consistently demonstrating strategic problem-solving, risk-informed decision-making, and proactive program innovation.

Benefits

Comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.

Pay

Salary range varies based on location. For example, in Boston, MA, the salary range is $112,300.00 - $202,500.00.

Schedule

Hybrid work environment, with defined in-person presence requirements. Extended hours may be required. Travel will be required, as necessary.